In remarks at the "Going Public in the 2020s" Conference, SEC Commissioner Mark T. Uyeda decried the decline in the number of companies going public and made several recommendations for reversing the trend, particularly for smaller companies, which he said would benefit Main Street investors.
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An investment adviser settled SEC charges for purchasing interests in a security via a public offering after short selling the same security during the Regulation M restricted period.
An investment adviser settled SEC charges for violating an SEC trading rule by purchasing interests in a security via a public offering during the restricted period after short selling the same security.
In a position paper, SIFMA and the accounting firm Ernst and Young assessed the current state of corporate action announcement and dissemination policies in the United States and called for more industry standardization.
A broker-dealer settled FINRA charges for failing to timely file offering documents for multiple private offerings.